James P. Curran

CURRAN & LEWIS INVESTMENT MANAGEMENT

Petaluma, CA 94952

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CRD#: 709346

Professional summary

James Patrick Curran is a registered financial advisor currently at CURRAN & LEWIS INVESTMENT MANAGEMENT, INC. located in Petaluma, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. James has worked at 6 firms and has passed the Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Curran's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 23, 2009 - Present

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

Office #1: 19 Keller Street, Petaluma, CA 94952

RIA

CRD#: 120267

Petaluma, CA

Past

September 3, 1996 - December 31, 2008

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 120267

MENLO PARK, CA

Past

January 5, 1993 - December 31, 1993

SECURITIES AMERICA, INC.

CRD#: 10205

Past

February 17, 1989 - December 31, 1992

FOOTHILL SECURITIES, INC.

CRD#: 1027

Past

May 10, 1988 - November 30, 1989

UR FINANCIAL, INC.

CRD#: 10509

Past

June 9, 1986 - April 9, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

June 4, 1980 - June 11, 1986

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

CRD#: 120267 / SEC#: 801-61096

RIA

Registered Investment Advisory firm - (4/23/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/23/2009)

IAR

Texas
(3/23/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/27/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/1983

General Securities Principal Examination

Current Firm

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

CRD#: 120267 / SEC#: 801-61096

RIA

Registered Investment Advisory firm - (4/23/2002 Approved)

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Contact information

Main Address

19 Keller Street, Petaluma, CA 94952

Mailing Address

Phone number

(650) 463-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (4/21/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 253,613,784

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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James P. Curran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Curran's CRS (Customer Relationship Summary).

Certified licenses

Experience

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

SECURITIES AMERICA, INC.

FOOTHILL SECURITIES, INC.

UR FINANCIAL, INC.

CHRISTOPHER WEIL & COMPANY, INC

JUDY & ROBINSON SECURITIES, INC

Primary Firm SEC Registration

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 4/16/1983

Series 1

Date: 5/27/1980

Series 24

Date: 5/3/1983

Current Firm

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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